Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Maureen O'Brien is a financial advisor with over 25 years of experience in the industry. Catherine is currently registered with D.a. Davidson & Co. in Claremont, California. Catherine has previously held positions with Crowell Weedon & Co., Crowell, Weedon & Co., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and University Securities Corporation. Catherine holds Series 3, 7, 9, 10, 63, and 65 licenses. Catherine provides financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
11/25/2013 - Present
D.a. Davidson & Co. (Claremont CA)
CA
11/04/2013 - 11/25/2013
CROWELL WEEDON & CO. (PASADENA CA)
CA
08/10/2009 - 11/04/2013
CROWELL, WEEDON & CO. (PASADENA CA)
CA
06/01/2009 - 06/23/2009
MORGAN STANLEY SMITH BARNEY (GLENDALE CA)
CA
05/06/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GLENDALE CA)
MO
07/01/2003 - 04/22/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
10/21/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/26/1983 - 11/13/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
11/12/1981 - 01/10/1983
UNIVERSITY SECURITIES CORPORATION
IA
Issued 09/12/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2003
Series 3 - National Commodity Futures Examination
BC
Issued 07/07/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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